Compliance Specialist Jobs in Brea, CA
A Compliance Specialist in the finance industry is primarily responsible for ensuring that the organization adheres to a variety of regulations, laws, and professional standards. They monitor, evaluate and communicate the organization's compliance status with respect to these regulations. They often conduct regular audits, implement compliance strategies, and provide compliance training to employees. Some Compliance Specialists may also be involved in developing targeted risk assessment methodologies, carrying out specific risk assessments, and building risk management plans.
Important skills for a Compliance Specialist include strong analytical abilities, excellent attention to detail, and solid communication skills. Knowledge of regulatory laws and standards in the finance industry is crucial. Compliance Specialists should also be able to use auditing software and other tools. In terms of certification, Certified Regulatory Compliance Manager (CRCM) is a popular one, while Certified Anti-Money Laundering Specialist (CAMS) and Certified Financial Crime Specialist (CFCS) are also useful. Previous job roles for someone considering becoming a Compliance Specialist may include Compliance Analyst, Risk Analyst, or Regulatory Affairs Specialist.
Finance Risk Compliance Consultant
- Los Angeles, CA (21 miles from Brea, CA)
- 1 day ago
- Los Angeles, CA (21 miles from Brea, CA)
- 1 day ago
Job Description In Consulting we work with C-suite executives, leaders and boards of the world's leading organizations, helping them reinvent every part of their enterprise to drive greater...
Fair Banking Compliance Officer
- Los Angeles, CA (21 miles from Brea, CA)
- 2 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 2 days ago
FAIR BANKING COMPLIANCE OFFICER WHAT IS THE OPPORTUNITY? The Fair Banking Compliance Officer is responsible for assessing risks related to unfair, deceptive, and abusive acts and practices...
- Irvine, CA (14 miles from Brea, CA)
- 4 days ago
- Irvine, CA (14 miles from Brea, CA)
- 4 days ago
Insight Global is looking for an IT Compliance Administrator to join the compliance team of one of their top clients in the insurance space. The role is responsible for responding to compliance...
Regulatory Compliance Specialist
- Los Angeles, CA (21 miles from Brea, CA)
- 5 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 5 days ago
Compliance Specialist position is a part of Companion Life's Regulatory and Market Conduct Team within the Compliance Department....
Senior Regulatory Affairs Specialist
- Irvine, CA (14 miles from Brea, CA)
- 5 days ago
- Irvine, CA (14 miles from Brea, CA)
- 5 days ago
We anticipate the application window for this opening will close on - 30 Jun 2025 At Medtronic you can begin a life-long career of exploration and innovation, while helping champion healthcare...
Governance, Risk, and Compliance Associate - Asset Management Consulting
- Los Angeles, CA (21 miles from Brea, CA)
- 7 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 7 days ago
The Weaver Experience Weaver is a full-service national accounting, advisory and consulting firm with opportunities for professionals in many different fields. We seek to bring a human element to...
- Irvine, CA (14 miles from Brea, CA)
- 8 days ago
- Irvine, CA (14 miles from Brea, CA)
- 8 days ago
Regulatory Affairs Specialist Contract Type: Contractor Location: Irvine Industry: Pharmaceuticals Contact Name: Flora Pollack Contact Phone: Date Published: 05-Jun-2025 Regulatory Affairs...
Regulatory and Compliance Analyst
- Irvine, CA (14 miles from Brea, CA)
- 9 days ago
- Irvine, CA (14 miles from Brea, CA)
- 9 days ago
Regulatory and Compliance Analyst Rivian vision insurance United States, California, Irvine 14600 Myford Road (Show on map) Jun 05, 2025 About Rivian Rivian is on a mission to keep the world...
Senior Regulatory Compliance Specialist
- Corona, CA (18 miles from Brea, CA)
- 10 days ago
- Corona, CA (18 miles from Brea, CA)
- 10 days ago
Are you ready to step into a pivotal role as a Senior Regulatory Compliance Specialist for the City of Corona?...
Senior Financial Aid Specialist - Compliance
- Los Angeles, CA (21 miles from Brea, CA)
- 10 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 10 days ago
Senior Financial Aid Specialist - Compliance Herzing University paid time off, remote work United States, California, Los Angeles Jun 04, 2025 Description To participate in a remote work...
Financial Compliance Auditor III Finance
- Los Angeles, CA (21 miles from Brea, CA)
- 10 days ago
- Los Angeles, CA (21 miles from Brea, CA)
- 10 days ago
Salary Range: $88,854.00 (Min.) - $115,509.00 (Mid.) - $142,166.00 (Max.) Established in 1997, L.A. Care Health Plan is an independent public agency created by the state of California to provide...
Regulatory Affairs Specialist II
- Pomona, CA (6 miles from Brea, CA)
- 12 days ago
- Pomona, CA (6 miles from Brea, CA)
- 12 days ago
Abbott is a global healthcare leader that helps people live more fully at all stages of life. Our portfolio of life-changing technologies spans the spectrum of healthcare, with leading businesses...
Job Description: The Regulatory Affairs Specialist is responsible for assembling CE Technical files and final review of deliverables for MDR regulatory compliance with the goal of achieving...
- Santa Ana, CA (12 miles from Brea, CA)
- 22 days ago
- Santa Ana, CA (12 miles from Brea, CA)
- 22 days ago
VP, Compliance Officer Banc of California - 2.9 Santa Ana, CA Job Details Full-time $101,000 - $125,000 a year 21 hours ago Benefits Paid parental leave Health savings account AD&D insurance Paid...
SVP, Senior Compliance Officer - Alternatives
- Newport Beach, CA (23 miles from Brea, CA)
- 25 days ago
- Newport Beach, CA (23 miles from Brea, CA)
- 25 days ago
PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients' capital across a range of fixed income and credit opportunities,...
Demographic Data for Brea, CA
Moving to Brea, CA? Find some basic demographic data about Brea, CA below.
Compliance Specialist Online Courses and Training Opportunities
Title Synonyms
Users interested in this job title also searched for the following job title
Salary for Compliance Specialist Jobs in Brea, CA
Required or preferred licenses and certifications for Compliance Specialist positions.
Highest Education Level
Compliance Specialists in Brea, CA offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Specialist position
- Retail
- Retail Banking
- Medical Device Sales
- FDA Regulations
- ISO 13485
- Mortgage Lending
- Private Banking
- 21 CFR 820
- Comprehensive Capital Analysis and Review
- Treasury
- BSA
- Treasury Management
- Equities
- Derivatives
- Internal Control
- Wealth Management
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Management Consulting
- Anti-Money Laundering
- Mortgage Processing
- Business Administration
- Finance
- Accounts Receivable
- Information Technology
- Reimbursement
- Accounting
- Risk Management
- Strategy Development
- Staffing
- Analytical Skills
- Implementation
- Payroll
- Auditing
- Verbal Communication
- Collaboration
- Documentation
- Reporting
- Bachelor's Degree
- Filing
- Regulations
- Policy Development
- Microsoft Office
- Problem Solving
- Microsoft Excel
- Research Skills
- Time Management
- Staff Supervision
- Organization
- Leadership
- Communication Skills
Other Career Titles
Here are some other career titles that require similar skills
Compliance Specialist Related Career Advice Articles
5 Types of Finance Jobs: Which Is the Best Fit?
Wondering if a finance job is right for you? Check out our guide to finance careers and learn more about working in finance.
Read article »
Impress Employers with These Finance Certifications
For professionals in the financial services industry, certifications can mean the difference between thriving or just surviving. Find out which certification would be best for you.
Read article »